Search Result

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

…

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

…

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 8.5 Powers and responsibilities

PERG 8.2 Introduction

SUP 16.13 Reporting under the Payment Services Regulations

COND 2.2 Location of offices

REC 2.4A Management body

CREDS 1.1 Application and purpose

SYSC 22.5 Giving references: additional rules and guidance for all firms

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

CASS 5.1 Application

SUP 11.8 Changes in the circumstances of existing controllers

PRIN 1.2 Clients and the Principles

SYSC 5.1 Skills, knowledge and expertise

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

SUP 5.3 Policy on the use of skilled persons

ICOBS 1.1 The general application rule

REC 3.1 Application and purpose

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

SUP 10C.15 Forms and other documents and how to submit them to the FCA

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary